IA- Small Firm Investment Adviser Business Continuity Plan (BCP)

The Small Firm Investment Adviser Business Continuity Plan (BCP) serves as a useful template for satisfying certain requirements for outlining and maintaining procedures relating to significant business disruptions.  The BCP includes specific areas that address operational back-up procedures and processes as well as the communication and notification processes with other counter-parties and federal and/or state regulatory agencies. The BCP also includes a compliance attestation, a call tree for internal notifications and a list of federal and state regulatory agency contacts for external notifications. Members also downloaded Investment Adviser Statement of Periodic Testing of BCP & Regulation S-P.

Version/Update: V.2/June 6, 2018

Total Page Count: 26

Source/Author(s): Connexien